3GPP TS 36.321 V8.4.0 (2008-12)
`
`Technical Specification
`
`3rd Generation Partnership Project;
`Technical Specification Group Radio Access Network;
`Evolved Universal Terrestrial Radio Access (E-UTRA)
`Medium Access Control (MAC) protocol specification
`(Release 8)
`
`late
`
`The present document has been developed within the 3" Generation Partnership Project (3GPP TM) and may be further elaborated for the purposes of 3GPP.
`The present document has not been subject to any approval process by the 3GPP Organizational Partners and shall not be implemented.
`This Specification is provided for future development work within 3GPP only. The Organizational Partners accept no liability for any use of this Specification.
`Specifications and reports for implementation of the 3GPP I'm system should be obtained via the 3GPP Organizational Partners Publications Offices.
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`

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`Release 8 (cid:9)
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`3GPP TS 36.321 V8.4.0 (2008-12)
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`Keywords
`UMTS, radio
`
`3GPP
`
`Postal address
`
`3GPP support office address
`650 Route des Lucioles - Sophia Antipolis
`Valbonne - FRANCE
`Tel.: +334 92 94 42 00 Fax: +334936547 16
`
`Internet
`http://www.3gpp.org
`
`Copyright Notification
`
`No part may be reproduced except as authorized by written permission.
`The copyright and the foregoing restriction extend to reproduction in all media.
`
`© 2008, 3GPP Organizational Partners (ARIB, ATIS, CCSA, ETSI, TTA, TTC).
`All rights reserved.
`
`UMTSTm is a Trade Mark of ETSI registered for the benefit of its members
`3GPPTm is a Trade Mark of ETSI registered for the benefit of its Members and of the 3GPP Organizational Partners
`LTETm is a Trade Mark of ETSI currently being registered for the benefit of its Members and of the 3GPP Organizational Partners
`GSM® and the GSM logo are registered and owned by the GSM Association
`
`3GPP
`
`Exhibit 2005-002
`
`

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`Release 8 (cid:9)
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`3GPP TS 36.321 V8.4.0 (2008-12)
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`Contents
`
`Foreword (cid:9)
`1 (cid:9)
`Scope (cid:9)
`2 (cid:9)
`References (cid:9)
`3 (cid:9)
`Definitions and abbreviations (cid:9)
`3.1 (cid:9)
`Definitions (cid:9)
`3.2 (cid:9)
`Abbreviations (cid:9)
`4 (cid:9)
`General (cid:9)
`4.1 (cid:9)
`Introduction (cid:9)
`4.2 (cid:9)
`MAC architecture (cid:9)
`4.2.1 (cid:9)
`MAC Entities (cid:9)
`4.3 (cid:9)
`Services (cid:9)
`4.3.1 (cid:9)
`Services provided to upper layers (cid:9)
`4.3.2 (cid:9)
`Services expected from physical layer (cid:9)
`4.4 (cid:9)
`Functions (cid:9)
`4.5 (cid:9)
`Channel structure (cid:9)
`4.5.1 (cid:9)
`Transport Channels (cid:9)
`4.5.2 (cid:9)
`Logical Channels (cid:9)
`4.5.3 (cid:9)
`Mapping of Transport Channels to Logical Channels (cid:9)
`4.5.3.1 (cid:9)
`Uplink mapping (cid:9)
`4.5.3.2 (cid:9)
`Downlink mapping (cid:9)
`5 (cid:9)
`MAC procedures (cid:9)
`5.1 (cid:9)
`Random Access procedure (cid:9)
`5.1.1 (cid:9)
`Random Access Procedure initialization (cid:9)
`5.1.2 (cid:9)
`Random Access Resource selection (cid:9)
`5.1.3 (cid:9)
`Random Access Preamble transmission (cid:9)
`5.1.4 (cid:9)
`Random Access Response reception (cid:9)
`5.1.5 (cid:9)
`Contention Resolution (cid:9)
`5.1.6 (cid:9)
`Completion of the Random Access procedure (cid:9)
`5.2 (cid:9)
`Maintenance of Uplink Time Alignment (cid:9)
`5.3 (cid:9)
`DL-SCH data transfer (cid:9)
`5.3.1 (cid:9)
`DL Assignment reception (cid:9)
`HARQ operation (cid:9)
`5.3.2 (cid:9)
`5.3.2.1 (cid:9)
`HARQ Entity (cid:9)
`5.3.2.2 (cid:9)
`HARQ process (cid:9)
`Disassembly and demultiplexing (cid:9)
`5.3.3 (cid:9)
`5.4 (cid:9)
`UL-SCH data transfer (cid:9)
`5.4.1 (cid:9)
`UL Grant reception (cid:9)
`5.4.2 (cid:9)
`HARQ operation (cid:9)
`5.4.2.1 (cid:9)
`HARQ entity (cid:9)
`5.4.2.2 (cid:9)
`HARQ process (cid:9)
`5.4.3 (cid:9)
`Multiplexing and assembly (cid:9)
`5.4.3.1 (cid:9)
`Logical channel prioritization (cid:9)
`5.4.3.2 (cid:9)
`Multiplexing of MAC SDUs (cid:9)
`5.4.4 (cid:9)
`Scheduling Request (cid:9)
`5.4.5 (cid:9)
`Buffer Status Reporting (cid:9)
`5.4.6 (cid:9)
`Power Headroom Reporting (cid:9)
`5.5 (cid:9)
`PCH reception (cid:9)
`BCH reception (cid:9)
`5.6 (cid:9)
`Discontinuous Reception (DRX) (cid:9)
`5.7 (cid:9)
`5.8 (cid:9)
`MAC reconfiguration (cid:9)
`5.9 (cid:9)
`MAC Reset (cid:9)
`5.10 (cid:9)
`Semi-Persistent Scheduling (cid:9)
`5.10.1 (cid:9)
`Downlink (cid:9)
`5.10.2 (cid:9)
`Uplink (cid:9)
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`3GPP
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`Exhibit 2005-003
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`3GPP TS 36.321 V8.4.0 (2008-12)
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`5.X (cid:9)
`6 (cid:9)
`6.1 (cid:9)
`6.1.1 (cid:9)
`6.1.2 (cid:9)
`6.1.3 (cid:9)
`6.1.3.1 (cid:9)
`6.1.3.2 (cid:9)
`6.1.3.3 (cid:9)
`6.1.3.4 (cid:9)
`6.1.3.5 (cid:9)
`6.1.3.6 (cid:9)
`6.1.4 (cid:9)
`6.1.5 (cid:9)
`6.2 (cid:9)
`6.2.1 (cid:9)
`6.2.2 (cid:9)
`6.2.3 (cid:9)
`7 (cid:9)
`7.1 (cid:9)
`7.2 (cid:9)
`7.3 (cid:9)
`7.4 (cid:9)
`7.5 (cid:9)
`7.6 (cid:9)
`7.7 (cid:9)
`
`Handling of unknown, unforeseen and erroneous protocol data (cid:9)
`Protocol Data Units, formats and parameters (cid:9)
`Protocol Data Units (cid:9)
`General (cid:9)
`MAC PDU (DL-SCH and UL-SCH except transparent MAC and Random Access Response) (cid:9)
`MAC Control Elements (cid:9)
`Buffer Status Report MAC Control Elements (cid:9)
`C-RNTI MAC Control Element (cid:9)
`DRX Command MAC Control Element (cid:9)
`UE Contention Resolution Identity MAC Control Element (cid:9)
`Timing Advance Command MAC Control Element (cid:9)
`Power Headroom MAC Control Element (cid:9)
`MAC PDU (transparent MAC) (cid:9)
`MAC PDU (Random Access Response) (cid:9)
`Formats and parameters (cid:9)
`MAC header for DL-SCH and UL-SCH (cid:9)
`MAC header for Random Access Response (cid:9)
`MAC payload for Random Access Response (cid:9)
`Variables and constants (cid:9)
`RNTI values (cid:9)
`Backoff Parameter values (cid:9)
`PRACH Mask Index values (cid:9)
`Subframe Offset values (cid:9)
`TTI_BUNDLE_SIZE value (cid:9)
`DELTA PREAMBLE values (cid:9)
`HARQ RTT Timer (cid:9)
`
`Annex A (informative): (cid:9)
`
`Change history (cid:9)
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`3GPP
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`Exhibit 2005-004
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`

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`3GPP TS 36.321 V8.4.0 (2008-12)
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`Foreword
`
`This Technical Specification has been produced by the 3' Generation Partnership Project (3GPP).
`
`The contents of the present document are subject to continuing work within the TSG and may change following formal
`TSG approval. Should the TSG modify the contents of the present document, it will be re-released by the TSG with an
`identifying change of release date and an increase in version number as follows:
`
`Version x.y.z
`
`where:
`
`x the first digit:
`
`1 presented to TSG for information;
`
`2 presented to TSG for approval;
`
`3 or greater indicates TSG approved document under change control.
`
`y the second digit is incremented for all changes of substance, i.e. technical enhancements, corrections,
`updates, etc.
`
`z the third digit is incremented when editorial only changes have been incorporated in the document.
`
`3GPP
`
`Exhibit 2005-005
`
`

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`Release 8 (cid:9)
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`1 Scope
`The present document specifies the E-UTRA MAC protocol.
`
`2 (cid:9)
`References
`The following documents contain provisions which, through reference in this text, constitute provisions of the present
`document.
`
`• References are either specific (identified by date of publication, edition number, version number, etc.) or
`non-specific.
`
`• For a specific reference, subsequent revisions do not apply.
`
`• For a non-specific reference, the latest version applies. In the case of a reference to a 3GPP document (including
`a GSM document), a non-specific reference implicitly refers to the latest version of that document in the same
`Release as the present document.
`
`[1]
`[2]
`
`[3]
`
`[4]
`
`[5]
`
`[6]
`
`[7]
`
`[8]
`
`[9]
`
`3GPP TR 21.905: "Vocabulary for 3GPP Specifications".
`
`3GPP TR 36.213: "Evolved Universal Terrestrial
`Procedures".
`
`3GPP TS 36.322: "Evolved Universal Terrestrial
`(RLC) protocol specification".
`
`3GPP TS 36.323: "Evolved Universal Terrestrial
`Convergence Protocol (PDCP) Specification".
`
`3GPP TS 36.212: "Evolved Universal Terrestrial
`channel coding".
`
`3GPP TS 36.214: "Evolved Universal Terrestrial
`Measurements".
`
`3GPP TS 36.211: "Evolved Universal Terrestrial
`and Modulation".
`
`3GPP TS 36.331: "Evolved Universal Terrestrial
`Control (RRC); Protocol specification".
`
`3GPP TS 36.133: "Evolved Universal Terrestrial
`support of radio resource management".
`
`Radio Access (E-UTRA); Physical Layer
`
`Radio Access (E-UTRA); Radio Link Control
`
`Radio Access (E-UTRA); Packet Data
`
`Radio Access (E-UTRA); Multiplexing and
`
`Radio Access (E-UTRA); Physical layer;
`
`Radio Access (E-UTRA); Physical Channels
`
`Radio Access (E-UTRA); Radio Resource
`
`Radio Access (E-UTRA); Requirements for
`
`3
`
`Definitions and abbreviations
`
`Definitions
`3.1
`For the purposes of the present document, the terms and definitions given in TR 21.905 [1] and the following apply. A
`term defined in the present document takes precedence over the definition of the same term, if any, in TR 21.905 [1].
`
`Active Time: Time related to DRX operation, as defined in subclause 5.7, during which the UE monitors the PDCCH
`in PDCCH-subframes.
`
`Contention Resolution Timer: Specifies the number of consecutive PDCCH-subframe(s) during which the UE shall
`monitor the PDCCH after the uplink message containing the C-RNTI MAC control element or the uplink message
`associated with HE Contention Resolution Identity submitted from upper layer is transmitted.
`
`3GPP
`
`Exhibit 2005-006
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`

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`DRX Cycle: Specifies the periodic repetition of the On Duration followed by a possible period of inactivity (see figure
`3.1-1 below).
`
`HOn Duration-o-i-Opportunity for DRX- n
`
`UE shall monitor
`PDCCH
`
`DRX Cycle
`
`Figure 3.1-1: DRX Cycle
`
`DRX Inactivity Timer: Specifies the number of consecutive PDCCH-subframe(s) after successfully decoding a
`PDCCH indicating an initial UL or DL user data transmission for this UE.
`
`DRX Retransmission Timer: Specifies the maximum number of consecutive PDCCH-subframe(s) for as soon as a DL
`retransmission is expected by the UE.
`
`DRX Short Cycle Timer: This parameter specifies the number of consecutive subframe(s)the UE shall follow the short
`DRX cycle after the DRX Inactivity Timer has expired.
`
`HARQ information: HARQ information consists of New Data Indicator (NDI), Redundancy Version (RV), Transport
`Block (TB) size. For DL-SCH transmissions the HARQ information also includes HARQ process ID. In case of spatial
`multiplexing on DL-SCH the HARQ information comprises a set of NDI, RV and TB size for each transport block.
`
`HARQ RTT Timer: This parameter specifies the minimum amount of subframe(s) before a DL HARQ retransmission
`is expected by the UE.
`
`Msg3: Uplink transmission on UL-SCH containing a C-RNTI MAC CE or CCCH SDU as part of a random access
`procedure.
`
`On Duration Timer: Specifies the number of consecutive PDCCH-subframe(s) at the beginning of a DRX Cycle.
`
`PDCCH-subframe: For FDD UE operation, this represents any subframe; for TDD, only downlink subframes and
`subframes including DwPTS.
`
`PRACH Resource Index: The index of a PRACH within a system frame [7]
`
`PRACH Mask Index: The PRACH Mask Index defmes in which PRACHs within a system frame the UE can transmit
`a Random Access Preamble (see subclause 7.3).
`
`RA-RNTI: The Random Access RNTI is used on the PDCCH when Random Access Response messages are
`transmitted. It unambiguously identifies which time-frequency resource was utilized by the UE to transmit the Random
`Access preamble.
`
`NOTE: A timer is running once it is started, until it is stopped or until it expires.
`
`Abbreviations
`3.2 (cid:9)
`For the purposes of the present document, the abbreviations given in TR 21.905 [1] and the following apply. An
`abbreviation defined in the present document takes precedence over the definition of the same abbreviation, if any, in
`TR 21.905 [1].
`
`BSR (cid:9)
`C-RNTI (cid:9)
`CQI (cid:9)
`E-UTRA (cid:9)
`E-UTRAN (cid:9)
`MAC (cid:9)
`LCG (cid:9)
`
`Buffer Status Report
`Cell RNTI
`Channel Quality Indicator
`Evolved UMTS Terrestrial Radio Access
`Evolved UMTS Terrestrial Radio Access Network
`Medium Access Control
`Logical Channel Group
`
`3GPP
`
`Exhibit 2005-007
`
`

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`Release 8 (cid:9)
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`8 (cid:9)
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`3GPP TS 36.321 V8.4.0 (2008-12)
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`PHR
`Power Headroom Report
`Precoding Matrix Index
`PMI
`Paging RNTI
`P-RNTI
`RA-RNTI
`Random Access RNTI
`Rank Indicator
`RI
`RNTI
`Radio Network Temporary Identifier
`SI-RNTI
`System Information RNTI
`SR
`Scheduling Request
`Sounding Reference Symbols
`SRS
`Transport Block
`TB
`TPC-PUCCH-RNTI Transmit Power Control-Physical Uplink Control Channel-RNTI
`TPC-PUSCH-RNTI Transmit Power Control-Physical Uplink Shared Channel-RNTI
`
`4 (cid:9)
`
`General
`
`4.1
`Introduction
`The objective is to describe the MAC architecture and the MAC entity from a functional point of view.
`
`4.2 (cid:9)
`MAC architecture
`The description in this sub clause is a model and does not specify or restrict implementations.
`
`RRC is in control of configuration of MAC.
`
`4.2.1 (cid:9)
`
`MAC Entities
`
`E-UTRA defines two MAC entities; one in the UE and one in the E-UTRAN. These MAC entities handle the following
`transport channels:
`
`- Broadcast Channel (BCH);
`
`- Downlink Shared Channel (DL-SCH);
`
`- Paging Channel (PCH);
`
`- Uplink Shared Channel (UL-SCH);
`
`- Random Access Channel(s) (RACH).
`
`The exact functions performed by the MAC entities are different in the UE from those performed in the E-UTRAN.
`
`4.3 (cid:9)
`
`Services
`
`Services provided to upper layers
`4.3.1 (cid:9)
`This clause describes the different services provided by MAC sublayer to upper layers.
`
`- data transfer
`
`-
`
`radio resource allocation
`
`Services expected from physical layer
`4.3.2 (cid:9)
`The physical layer provides the following services to MAC:
`
`3GPP
`
`Exhibit 2005-008
`
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
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`- data transfer services;
`
`-
`
`-
`
`signalling of HARQ feedback;
`
`signalling of Scheduling Request;
`
`- measurements (e.g. Channel Quality Indication (CQI)).
`
`The access to the data transfer services is through the use of transport channels. The characteristics of a transport
`channel are defined by its transport format (or format set), specifying the physical layer processing to be applied to the
`transport channel in question, such as channel coding and interleaving, and any service-specific rate matching as
`needed.
`
`4.4 (cid:9)
`Functions
`The following functions are supported by MAC sublayer:
`
`- mapping between logical channels and transport channels;
`
`- multiplexing of MAC SDUs from one or different logical channels onto transport blocks (TB) to be delivered to
`the physical layer on transport channels;
`
`- demultiplexing of MAC SDUs from one or different logical channels from transport blocks (TB) delivered from
`the physical layer on transport channels;
`
`-
`
`scheduling information reporting;
`
`- error correction through HARQ;
`
`- priority handling between UEs by means of dynamic scheduling;
`
`- priority handling between logical channels of one HE;
`
`- Logical Channel prioritisation;
`
`-
`
`transport format selection.
`
`NOTE: How the multiplexing relates to the QoS of the multiplexed logical channels is FFS.
`
`The location of the different functions and their relevance for uplink and downlink respectively is illustrated in Table
`4.4-1.
`
`Table 4.4-1: MAC function location and link direction association.
`
`MAC function
`Mapping between logical channels and transport channels
`
`UE
`X
`
`Multiplexing
`
`Demultiplexing
`
`Error correction through HAPQ
`
`Transport Format Selection
`Priority handling between UEs
`Priority handling between logical channels of one UE
`Logical Channel prioritisation
`Scheduling information reporting
`
`X
`
`X
`
`X
`
`X
`X
`
`eNB
`
`X
`
`X
`
`X
`
`X
`X
`X
`X
`
`Downlink
`X
`X
`
`X
`X
`
`X
`X
`X
`X
`X
`
`Uplink
`X
`X
`X
`
`X
`X
`X
`X
`X
`X
`X
`X
`
`4.5 (cid:9)
`Channel structure
`The MAC sublayer operates on the channels defined below; transport channels are SAPs between MAC and Layer 1,
`logical channels are SAPs between MAC and RLC.
`
`3GPP
`
`Exhibit 2005-009
`
`

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`Release 8 (cid:9)
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`3GPP TS 36.321 V8.4.0 (2008-12)
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`4.5.1 (cid:9)
`
`Transport Channels
`
`The transport channels used by MAC are described in Table 4.5.1-1 below.
`
`Table 4.5.1 - 1: Transport channels used by MAC
`
`Transport channel name
`Broadcast Channel
`Downlink Shared Channel
`Paging Channel
`Uplink Shared Channel
`Random Access Channel
`
`Acronym
`BCH
`DL-SCH
`PCH
`UL-SCH
`RACH
`
`Downlink
`X
`X
`X
`
`Uplink
`
`X
`X
`
`4.5.2 (cid:9)
`
`Logical Channels
`
`The MAC layer provides data transfer services on logical channels. A set of logical channel types is defined for
`different kinds of data transfer services as offered by MAC.
`
`Each logical channel type is defined by what type of information is transferred.
`
`MAC provides the control and traffic channels listed in Table 4.5.2-1 below. When MAC uses the PDCCH to indicate
`radio resource allocation, the RNTI that is mapped on the PDCCH depends on the logical channel type:
`
`- C-RNTI, Temporary C-RNTI and Semi-Persistent Scheduling C-RNTI for DCCH and DTCH;
`
`- P-RNTI for PCCH;
`
`- RA-RNTI for Random Access Response on DL-SCH;
`
`- Temporary C-RNTI for CCCH during the random access procedure;
`
`- SI-RNTI for BCCH.
`
`Table 4.5.2-1: Logical channels provided by MAC.
`
`Logical channel name (cid:9)
`Broadcast Control Channel (cid:9)
`Paging Control Channel (cid:9)
`Common Control Channel (cid:9)
`Dedicated Control Channel (cid:9)
`Dedicated Traffic Channel (cid:9)
`
`Acronym (cid:9)
`BCCH (cid:9)
`PCCH (cid:9)
`CCCH (cid:9)
`DCCH (cid:9)
`DTCH (cid:9)
`
`Control channel (cid:9)
`X
`X
`X
`X
`
`Traffic channel
`
`X
`
`4.5.3 (cid:9)
`
`Mapping of Transport Channels to Logical Channels
`The mapping of logical channels on transport channels depends on the multiplexing that is configured by RRC.
`
`4.5.3.1 (cid:9)
`
`Uplink mapping
`
`The MAC entity is responsible for mapping logical channels for the uplink onto uplink transport channels. The uplink
`logical channels can be mapped as described in Figure 4.5.3.1-1 and Table 4.5.3.1-1.
`
`3GPP
`
`Exhibit 2005-010
`
`

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`Release 8
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`11
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`CCCH DCCH DTCH
`
`Uplink
`Logical channels
`
`Uplink
`Transport channels
`
`Figure 4.5.3.1-1
`
`Table 4.5.3.1-1: Uplink channel mapping.
`
`Transport channel (cid:9)
`Logical channel
`CCCH (cid:9)
`DCCH (cid:9)
`DTCH (cid:9)
`
`UL-SCH
`
`RACH
`
`X
`X
`X
`
`4.5.3.2 (cid:9)
`
`Downlink mapping
`
`The MAC entity is responsible for mapping the downlink logical channels to downlink transport channels. The
`downlink logical channels can be mapped as described in Figure 4.5.3.2-1 and Table 4.5.3.2-1.
`
`PCCH BCCH CCCH DCCH DTCH
`
`Downlink
`Logical channels
`
`PCH
`
`BCH
`
`DL-SCH
`
`Downlink
`Transport channels
`
`Figure 4.5.3.2-1
`
`Table 4.5.3.2-1: Downlink channel mapping.
`
`Transport channel
`Logical channel
`BCCH
`PCCH
`CCCH
`DCCH
`DTCH
`
`BCH
`
`X
`
`PCH
`
`DL-SCH
`
`X
`
`X
`
`X
`X
`X
`
`3GPP
`
`Exhibit 2005-011
`
`(cid:9)
`(cid:9)
`(cid:9)
`(cid:9)
`

`

`Release 8 (cid:9)
`
`12 (cid:9)
`
`3GPP TS 36.321 V8.4.0 (2008-12)
`
`5 (cid:9)
`
`5.1 (cid:9)
`
`MAC procedures
`
`Random Access procedure
`
`Random Access Procedure initialization
`5.1.1 (cid:9)
`The Random Access procedure described in this subclause is initiated by a PDCCH order or by the MAC sublayer
`itself. The PDCCH order or RRC optionally indicate a Random Access Preamble and PRACH resource.
`
`Before the procedure can be initiated, the following information is assumed to be available:
`
`-
`
`the available set of PRACH resources for the transmission of the Random Access Preamble and their
`corresponding RA-RNTIs.
`
`-
`
`the groups of Random Access Preambles and the set of available Random Access Preambles in each group:
`
`The preambles that are contained in Random Access Preambles group A and Random Access Preambles group B
`are calculated from the parameters number0fRA-Preambles and size0fRA-PreamblesGroupA [8]:
`
`If size0fRil-PreamblesGroupA is equal to number0fRA-Preambles then there is no Random Access Preambles
`group B. The preambles in Random Access Preamble group A are the preambles 0 to size0fRil-
`PreamblesGroupA - 1 and, if it exists, the preambles in Random Access Preamble group B are the preambles
`size0fRA-PreamblesGroupA to number0fRA-Preambles - 1 from the set of 64 preambles as defined in [7].
`
`the thresholds, messagePowerOffsetGroupB and MESSAGE_SIZE_GROUP_A, that are required for selecting
`one of the two groups of Random Access Preambles.
`
`the RA response window size ra-ResponseWindowSize [8].
`
`the power-ramping factor POWER RAMP_STEP.
`
`the parameter PREAMBLE_TRANS_MAX [integer > 0].
`
`the initial preamble power PREAMBLE_ INITIAL_RECEIVED_TARGET_POWER.
`
`the preamble format based offset DELTA_PREAMBLE (see subclause 7.6).
`
`the maximum allowed transmission power Pmax.
`
`the offset between preamble and the Msg3, DELTA_PREAMBLE_MSG3.
`
`the parameter Maximum number of Msg3 HARQ transmissions.
`
`-
`
`-
`
`-
`
`-
`
`-
`
`-
`
`-
`
`-
`
`-
`
`[Note that the above parameters may be updated from upper layers before each Random Access procedure is initiated.]
`
`The Random Access procedure shall be performed as follows:
`
`- Flush the Msg3 buffer;
`
`-
`
`-
`
`set the PREAMBLE_TRANSMISSION_COUNTER to 1;
`
`set the backoff parameter value in the HE to 0 ms;
`
`- proceed to the selection of the Random Access Resource (see subclause 5.1.2).
`
`NOTE: There is only one Random Access procedure ongoing at any point in time. If the HE receives a request for
`a new Random Access procedure while another is already ongoing, it is up to HE implementation whether
`to continue with the ongoing procedure or start with the new procedure.
`
`5.1.2 (cid:9)
`
`Random Access Resource selection
`
`The Random Access Resource selection procedure shall be performed as follows:
`
`3GPP
`
`Exhibit 2005-012
`
`

`

`Release 8 (cid:9)
`
`13 (cid:9)
`
`3GPP TS 36.321 V8.4.0 (2008-12)
`
`-
`
`If the Random Access Preamble and the PRACH Mask Index have been explicitly signalled and the signalled
`random access preamble ID is not 000000:
`
`-
`
`the Random Access Preamble and the PRACH Mask Index are those explicitly signalled.
`
`- else the Random Access Preamble shall be selected by the UE as follows:
`
`-
`
`If the uplink message containing the C-RNTI MAC control element or the uplink message including the
`CCCH SDU has not yet been transmitted, the UE shall:
`
`-
`
`if Random Access Preambles group B exists and if the potential message size (data available for
`transmission plus MAC header and, where required, MAC control elements) is greater than
`MESSAGE_SIZE_GROUP_A and if the pathloss is less than Pmax — PREAMBLE_
`INITIAL_RECEIVED_TARGET_POWER — DELTA_PREAMBLE_MSG3 —
`messagePowerOffsetGroupB, then:
`
`-
`
`select the Random Access Preambles group B;
`
`- else:
`
`-
`
`select the Random Access Preambles group A.
`
`- else, if the uplink message containing the C-RNTI MAC control element or the uplink message including the
`CCCH SDU is being retransmitted, the HE shall:
`
`-
`
`select the same group of Random Access Preambles as was used for the preamble transmission attempt
`corresponding to the first transmission of the uplink message containing the C-RNTI MAC control
`element or the uplink message including the CCCH SDU.
`
`randomly select a Random Access Preamble within the selected group. The random function shall be such
`that each of the allowed selections can be chosen with equal probability;
`
`set PRACH Mask Index to 0.
`
`-
`
`-
`
`- determine the next available subframe containing PRACH permitted by the restrictions given by the PRACH
`Mask Index (see subclause 7.3) (a UE may take into account the possible occurrence of measurement gaps when
`determining the next available PRACH subframe);
`
`-
`
`if the transmission mode is TDD and the PRACH Mask Index is equal to zero:
`
`-
`
`if the Random Access Preamble was explicitly signalled and the signalled random access preamble ID was
`not 000000 (i.e., not selected by MAC):
`
`-
`
`randomly select, with equal probability, one PRACH from the PRACHs available in the determined
`subframe.
`
`- else:
`
`-
`
`randomly select, with equal probability, one PRACH from the PRACHs available in the determined
`subframe and the next two consecutive subframes.
`
`- else:
`
`- determine a PRACH within the determined subframe in accordance with the requirements of the PRACH
`Mask Index.
`
`- proceed to the transmission of the Random Access Preamble (see subclause 5.1.3).
`
`Random Access Preamble transmission
`5.1.3 (cid:9)
`The random-access procedure shall be performed as follows:
`
`-
`
`set the parameter PREAMBLE_RECEIVED_TARGET_POWER to
`PREAMBLE_INITIAL_RECEIVED_TARGET_POWER + DELTA_PREAMBLE +
`(PREAMBLE_TRANSMISSION_COUNTER-1) * POWER RAMP STEP;
`
`3GPP
`
`Exhibit 2005-013
`
`

`

`Release 8 (cid:9)
`
`14 (cid:9)
`
`3GPP TS 36.321 V8.4.0 (2008-12)
`
`-
`
`instruct the physical layer to transmit a preamble using the selected PRACH, corresponding RA-RNTI, preamble
`index and PREAMBLE_RECEIVED_TARGET_POWER.
`
`5.1.4 (cid:9)
`
`Random Access Response reception
`
`Once the Random Access Preamble is transmitted and regardless of the possible occurrence of a measurement gap, the
`UE shall monitor the PDCCH for Random Access Response(s) identified by the RA-RNTI defined below, in the TTI
`window [RA_WINDOW_BEGIN—RA_WINDOW_END] which starts at the subframe that contains the end of the
`preamble transmission [7] plus three subframes and has length ra-ResponseWindowSize subframes. The RA-RNTI
`associated with the PRACH in which the Random Access Preamble is transmitted, is computed as:
`
`RA-RNTI= t_id+10*f id
`
`Where t_id is the index of the first subframe of the specified PRACH (0< t_id <10), and f id is the index of the
`specified PRACH within that subframe, in ascending order of frequency domain (0< f id< 6). The UE may stop
`monitoring for Random Access Response(s) after successful reception of a Random Access Response containing
`Random Access Preamble identifiers that matches the transmitted Random Access Preamble.
`
`-
`
`If a downlink assignment for this TTI has been received on the PDCCH for the RA-RNTI and the received TB is
`successfully decoded, the UE shall regardless of the possible occurrence of a measurement gap:
`
`-
`
`if the Random Access Response contains a Backoff Indicator subheader:
`
`-
`
`set the backoff parameter value in the UE as indicated by the BI field of the Backoff Indicator subheader
`and Table 7.2-1.
`
`- else, set the backoff parameter value in the UE to 0 ms.
`
`-
`
`if the Random Access Response contains a Random Access Preamble identifier corresponding to the
`transmitted Random Access Preamble (see subclause 5.1.3), the UE shall:
`
`- consider this Random Access Response reception successful;
`
`- process the received Timing Advance Command (see subclause 5.2);
`
`-
`
`indicate the amount of power ramping applied to the latest preamble transmission to lower layers (i.e.,
`(PREAMBLE_TRANSMISSION_COUNTER-1) * POWER RAMP STEP );
`
`- process the received UL grant value and indicate it to the lower layers;
`
`-
`
`if the Random Access Preamble was explicitly signalled and the signalled random access preamble ID
`was not 000000 (i.e., not selected by MAC):
`
`- consider the Random Access procedure successfully completed.
`
`- else, if the Random Access Preamble was selected by HE MAC:
`
`-
`
`-
`
`set the Temporary C-RNTI to the value received in the Random Access Response message no later
`than at the time of the first transmission corresponding to the UL grant provided in the Random
`Access Response message;
`
`if this is the first successfully received Random Access Response within this Random Access
`procedure:
`
`-
`
`if the transmission is not being made for the CCCH logical channel, indicate to the Multiplexing
`and assembly entity to include a C-RNTI MAC control element in the subsequent uplink
`transmission;
`
`- obtain the MAC PDU to transmit from the "Multiplexing and assembly" entity and store it in the
`Msg3 buffer.
`
`NOTE: When an uplink transmission is required, e.g., for contention resolution, the eNB should not provide a
`grant smaller than 80 bits in the Random Access Response.
`
`3GPP
`
`Exhibit 2005-014
`
`

`

`Release 8 (cid:9)
`
`15 (cid:9)
`
`3GPP TS 36.321 V8.4.0 (2008-12)
`
`NOTE: If within a Random Access procedure, an uplink grant provided in the Random Access Response for the
`same group of Random Access Preambles has a different size than the first uplink grant allocated during
`that Random Access procedure, the UE behavior is not defined.
`
`If no Random Access Response is received within the TTI window [RA_WINDOW_BEGIN—RA_WINDOW_END],
`or if all received Random Access Responses contain Random Access Preamble identifiers that do not match the
`transmitted Random Access Preamble, the Random Access Response reception is considered not successful and the UE
`shall:
`
`-
`
`-
`
`-
`
`increment PREAMBLE_TRANSMISSION_COUNTER by 1;
`
`If PREAMBLE_TRANSMISSION_COUNTER = PREAMBLE_TRANS_MAX +1:
`
`-
`
`indicate a Random Access problem to upper layers.
`
`if in this Random Access procedure, the Random Access Preamble was selected by MAC:
`
`- based on the backoff parameter in the HE, select a random backoff time according to a uniform distribution
`between 0 and the Backoff Parameter Value;
`
`- delay the subsequent Random Access transmission by the backoff time;
`
`- proceed to the selection of a Random Access Resource (see subclause 5.1.2).
`
`Contention Resolution
`5.1.5 (cid:9)
`Contention Resolution is based on either C-RNTI on PDCCH or HE Contention Resolution Identity on DL-SCH.
`
`Once the uplink message containing the C-RNTI MAC control element or the uplink message including the CCCH
`SDU is transmitted, the HE shall:
`
`-
`
`-
`
`start the Contention Resolution Timer and restart the Contention Resolution Timer at each HARQ
`retransmission;
`
`regardless of the possible occurrence of a measurement gap, monitor the PDCCH until the Contention
`Resolution Timer expires or is stopped;
`
`-
`
`if notification of a reception of a PDCCH transmission is received from lower layers, the HE shall:
`
`-
`
`if the C-RNTI MAC control element was included in uplink message:
`
`-
`
`-
`
`if the Random Access procedure was initiated by the MAC sublayer itself and the PDCCH transmission is
`addressed to the C-RNTI and contains an UL grant for a new transmission; or
`
`if the Random Access procedure was initiated by a PDCCH order and the PDCCH transmission is
`addressed to the C-RNTI:
`
`- consider this Contention Resolution successful;
`
`-
`
`stop the Contention Resolution Timer;
`
`- discard the Temporary C-RNTI;
`
`- consider this Random Access procedure successfully completed.
`
`- else if the uplink message included the CCCH SDU and the PDCCH transmission is addressed to its
`Temporary C-RNTI:
`
`-
`
`if the MAC PDU is successfully decoded:
`
`-
`
`-
`
`-
`
`stop the Contention Resolution Timer;
`
`if the MAC PDU contains a UE Contention Resolution Identity MAC control element; and
`
`if the UE Contention Resolution Identity included in the MAC control element matches the CCCH
`SDU transmitted in the uplink message:
`
`3GPP
`
`Exhibit 2005-015
`
`

`

`Release 8 (cid:9)
`
`16 (cid:9)
`
`3GPP TS 36.321 V8.4.0 (2008-12)
`
`- consider this Contention Resolution successful and fmish the disassembly and demultiplexing of
`the MAC PDU;
`
`-
`
`set the C-RNTI to the value of the Temporary C-RNTI;
`
`- discard the Temporary C-RNTI;
`
`- consider this Random Access procedure successfully completed.
`
`- else
`
`- discard the Temporary C-RNTI;
`
`- consider this Contention Resolution not successful and discard the successfully decoded MAC
`PDU.
`
`-
`
`if the Contention Resolution Timer expires:
`
`- discard the Temporary C-RNTI;
`
`- consider the Contention Resolution not successful.
`
`-
`
`if the Contention Resolution is considered not successful the UE shall:
`
`-
`
`-
`
`if the Random Access procedure was initiated by the MAC sublayer itself; or
`
`if the Random Access procedure was initiated by a PDCCH order and the
`PREAMBLE_TRANSMISSION_COUNTER is less than PREAMBLE_TRANS_MAX:
`
`-
`
`-
`
`increment PREAMBLE_TRANSMISSION_COUNTER by 1;
`
`If PREAMBLE_TRANSMISSION_COUNTER = PREAMBLE_TRANS_MAX +1:
`
`-
`
`indicate a Random Access problem to upper layers.
`
`- based on the backoff parameter in the UE, select a random backoff time according to a uniform
`distribution between 0 and the Backoff Parameter Value;
`
`- delay the subsequent Random Access transmission by the backoff time;
`
`- proceed to the selection of a Random Access Resource (see subclause 5.1.2).
`
`5.1.6 Completion of the Random Access procedure
`At su